Personnel Hong Kong SFC License Details (ID 11574804)

Personnel Hong Kong SFC License Details (ID 11574804)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
SPDB International Investment Management Limited	Rep	Advising on securities	2021-10-06	-
	Rep	Asset management	2021-10-06	-
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on securities	2020-11-19	2021-09-10
	Rep	Asset management	2020-11-19	2021-09-10
	Rep	Dealing in securities	2020-11-19	2021-09-10
Lego Asset Management Limited	Rep	Advising on securities	2019-08-12	2020-04-20
	Rep	Asset management	2019-08-12	2020-04-20
Lego Securities Limited	Rep	Dealing in securities	2019-08-12	2020-04-20
QUAM ASSET MANAGEMENT LIMITED	Rep	Asset management	2018-01-30	2019-07-31
	Rep	Advising on securities	2017-06-14	2019-07-31
Quam Securities Limited	Rep	Dealing in securities	2017-06-14	2019-07-31